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81 82 </head> 83 <body class="d-flex flex-column"> 84 85 86 <!-- Logo/Navigation --> 87 <nav> 88 <!-- Logo/Top Navigation (Desktop) --> 89<div id="primary-nav-desktop" class="d-print-none d-none d-lg-block container-fluid bg-blue-light bg-gradient-light"> 90 <div class="container d-flex h-100"> 91 <div class="position-relative"> 92 <div id="logo-container" class="position-absolute top-0 p-3 d-flex align-items-center"> 93 <span class="logo-wrapper"><a id="logo-desktop" class="logo" href="/" aria-label="Securities Investor Protection Corporation Homepage"></a></span> 94 </div> 95 </div> 96 <ul class="nav justify-content-end flex-grow-1 d-flex align-items-center"> 97 <li class="nav-item"> 98 <a class="nav-link nav-link-hover" href="/about-sipc" aria-label="About Us">About Us</a> 99 <div class="nav-content"> 100 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 101 <div class="container h-100"> 102 <div class="row h-100 position-relative"> 103 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 104 <div class="fs-6 lh-lg text-white bg-primary"> 105 106 <div class="h5"> 107 <a href="/about-sipc" class="text-white" aria-label="About Us">About Us</a> 108 </div> 109 <hr aria-hidden="true"> 110 <div class="content accent-links"> 111 We are a non-profit corporation created by Congress that has been protecting investors for over 50 years. We work to restore investorsâ cash and securities if their brokerage firm fails. SIPC has recovered billions of dollars for investors. 112 113 </div> 114 </div> 115 </div> 116 <div class="nav-content-left col-3 h-100 bg-accent"> 117 <hr aria-hidden="true"> 118 <div class="child-nav-link"> 119 <div><a href="/about-sipc/sipc-mission" aria-label="Our Mission">Our Mission</a></div> 120 <hr aria-hidden="true"> 121 </div> 122 <div class="child-nav-link-content offset-3 col-9"> 123 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 124 125 <div class="h5"> 126 <a href="/about-sipc/sipc-mission" class="text-white" aria-label="Our Mission">Our Mission</a> 127 </div> 128 <hr aria-hidden="true"> 129 <div class="content accent-links"> 130 SIPC works to restore investorsâ assets if a brokerage firm fails financially. 131 </div> 132 </div> 133 </div> 134 <div class="child-nav-link"> 135 <div><a href="/about-sipc/history" aria-label="History and Track Record">History and Track Record</a></div> 136 <hr aria-hidden="true"> 137 </div> 138 <div class="child-nav-link-content offset-3 col-9"> 139 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 140 141 <div class="h5"> 142 <a href="/about-sipc/history" class="text-white" aria-label="History and Track Record">History and Track Record</a> 143 </div> 144 <hr aria-hidden="true"> 145 <div class="content accent-links"> 146 SIPC has restored billions of dollars for investors. 147 </div> 148 </div> 149 </div> 150 <div class="child-nav-link"> 151 <div><a href="/about-sipc/leadership" aria-label="Leadership">Leadership</a></div> 152 <hr aria-hidden="true"> 153 </div> 154 <div class="child-nav-link-content offset-3 col-9"> 155 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 156 157 <div class="h5"> 158 <a href="/about-sipc/leadership" class="text-white" aria-label="Leadership">Leadership</a> 159 </div> 160 <hr aria-hidden="true"> 161 <div class="content accent-links"> 162 Our job is to recover missing assets if your brokerage firm fails financially. 163 </div> 164 </div> 165 </div> 166 <div class="child-nav-link"> 167 <div><a href="/about-sipc/the-sipc-logo" aria-label="The SIPC Logo">The SIPC Logo</a></div> 168 <hr aria-hidden="true"> 169 </div> 170 <div class="child-nav-link-content offset-3 col-9"> 171 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 172 173 <div class="h5"> 174 <a href="/about-sipc/the-sipc-logo" class="text-white" aria-label="The SIPC Logo">The SIPC Logo</a> 175 </div> 176 <hr aria-hidden="true"> 177 <div class="content accent-links"> 178 The SIPC logo means your assets are protected under the Securities Investor Protection Act (SIPA). 179 </div> 180 </div> 181 </div> 182 <div class="child-nav-link"> 183 <div><a href="/about-sipc/the-sipc-fund" aria-label="The SIPC Fund">The SIPC Fund</a></div> 184 <hr aria-hidden="true"> 185 </div> 186 <div class="child-nav-link-content offset-3 col-9"> 187 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 188 189 <div class="h5"> 190 <a href="/about-sipc/the-sipc-fund" class="text-white" aria-label="The SIPC Fund">The SIPC Fund</a> 191 </div> 192 <hr aria-hidden="true"> 193 <div class="content accent-links"> 194 SIPC maintains resources from which we can draw to restore customer assets. 195 </div> 196 </div> 197 </div> 198 <div class="child-nav-link"> 199 <div><a href="/about-sipc/statute-and-rules" aria-label="Statute and Rules">Statute and Rules</a></div> 200 <hr aria-hidden="true"> 201 </div> 202 <div class="child-nav-link-content offset-3 col-9"> 203 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 204 205 <div class="h5"> 206 <a href="/about-sipc/statute-and-rules" class="text-white" aria-label="Statute and Rules">Statute and Rules</a> 207 </div> 208 <hr aria-hidden="true"> 209 <div class="content accent-links"> 210 SIPC is a non-profit corporation created by Congress some 50 years ago. 211 </div> 212 </div> 213 </div> 214 <div class="child-nav-link"> 215 <div><a href="/news-and-media/annual-reports" aria-label="SIPC Annual Report">SIPC Annual Report</a></div> 216 <hr aria-hidden="true"> 217 </div> 218 <div class="child-nav-link-content offset-3 col-9"> 219 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 220 221 <div class="h5"> 222 <a href="/news-and-media/annual-reports" class="text-white" aria-label="SIPC Annual Report">SIPC Annual Report</a> 223 </div> 224 <hr aria-hidden="true"> 225 <div class="content accent-links"> 226 The year in review. 227 </div> 228 </div> 229 </div> 230 <div class="child-nav-link"> 231 <div><a href="/news-and-media/brochures" aria-label="Brochures">Brochures</a></div> 232 <hr aria-hidden="true"> 233 </div> 234 <div class="child-nav-link-content offset-3 col-9"> 235 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 236 237 <div class="h5"> 238 <a href="/news-and-media/brochures" class="text-white" aria-label="Brochures">Brochures</a> 239 </div> 240 <hr aria-hidden="true"> 241 <div class="content accent-links"> 242 Download or view SIPC brochures here. 243 </div> 244 </div> 245 </div> 246 <div class="child-nav-link"> 247 <div><a href="/about-sipc/careers" aria-label="Careers">Careers</a></div> 248 <hr aria-hidden="true"> 249 </div> 250 <div class="child-nav-link-content offset-3 col-9"> 251 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 252 253 <div class="h5"> 254 <a href="/about-sipc/careers" class="text-white" aria-label="Careers">Careers</a> 255 </div> 256 <hr aria-hidden="true"> 257 <div class="content accent-links"> 258 Join our community of purpose-driven professionals and help to advance our mission of providing investor protection. 259 </div> 260 </div> 261 </div> 262 </div> 263 </div> 264 </div> 265 </div> 266 </li> 267 <li class="nav-item"> 268 <a class="nav-link nav-link-hover" href="/cases-and-claims" aria-label="Cases & Claims">Cases & Claims</a> 269 <div class="nav-content"> 270 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 271 <div class="container h-100"> 272 <div class="row h-100 position-relative"> 273 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 274 <div class="fs-6 lh-lg text-white bg-primary"> 275 276 <div class="h5"> 277 <a href="/cases-and-claims" class="text-white" aria-label="Cases & Claims">Cases & Claims</a> 278 </div> 279 <hr aria-hidden="true"> 280 <div class="content accent-links"> 281 <div class="mb-3"> 282 View information about <a href="/cases-and-claims/how-to-file-a-claim">claim forms</a> and 283 <a href="/cases-and-claims/deadlines">deadlines</a> for open cases here. 284</div> 285<div> 286 <i>SIPC has restored billions of dollars for investors.</i> 287</div> 288 289 </div> 290 </div> 291 </div> 292 <div class="nav-content-left col-3 h-100 bg-accent"> 293
293 <hr aria-hidden="true"> 294 <div class="child-nav-link"> 295 <div><a href="/cases-and-claims/deadlines" aria-label="Filing Deadlines">Filing Deadlines</a></div> 296 <hr aria-hidden="true"> 297 </div> 298 <div class="child-nav-link-content offset-3 col-9"> 299 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 300 301 <div class="h5"> 302 <a href="/cases-and-claims/deadlines" class="text-white" aria-label="Filing Deadlines">Filing Deadlines</a> 303 </div> 304 <hr aria-hidden="true"> 305 <div class="content accent-links"> 306 When you file matters. Filing deadlines explained. 307 </div> 308 </div> 309 </div> 310 <div class="child-nav-link"> 311 <div><a href="/cases-and-claims/open-cases" aria-label="All Open Cases">All Open Cases</a></div> 312 <hr aria-hidden="true"> 313 </div> 314 <div class="child-nav-link-content offset-3 col-9"> 315 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 316 317 <div class="h5"> 318 <a href="/cases-and-claims/open-cases" class="text-white" aria-label="All Open Cases">All Open Cases</a> 319 </div> 320 <hr aria-hidden="true"> 321 <div class="content accent-links"> 322 Cases that are still being processed. 323 </div> 324 </div> 325 </div> 326 <div class="child-nav-link"> 327 <div><a href="/cases-and-claims/how-to-file-a-claim" aria-label="How To File a Claim">How To File a Claim</a></div> 328 <hr aria-hidden="true"> 329 </div> 330 <div class="child-nav-link-content offset-3 col-9"> 331 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 332 333 <div class="h5"> 334 <a href="/cases-and-claims/how-to-file-a-claim" class="text-white" aria-label="How To File a Claim">How To File a Claim</a> 335 </div> 336 <hr aria-hidden="true"> 337 <div class="content accent-links"> 338 Details on how to file a claim. 339 </div> 340 </div> 341 </div> 342 <div class="child-nav-link"> 343 <div>
343<a href="/cases-and-claims/how-a-liquidation-works" aria-label="How a Liquidation Works">How a Liquidation Works</a></div> 344 <hr aria-hidden="true"> 345 </div> 346 <div class="child-nav-link-content offset-3 col-9"> 347 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 348 349 <div class="h5"> 350 <a href="/cases-and-claims/how-a-liquidation-works" class="text-white" aria-label="How a Liquidation Works">How a Liquidation Works</a> 351 </div> 352 <hr aria-hidden="true"> 353 <div class="content accent-links"> 354 Steps SIPC takes to recover customer assets if a brokerage firm fails financially. 355 </div> 356 </div> 357 </div> 358 <div class="child-nav-link"> 359 <div><a href="/cases-and-claims/how-the-claims-process-works" aria-label="How The Claims Process Works">How The Claims Process Works</a></div> 360 <hr aria-hidden="true"> 361 </div> 362 <div class="child-nav-link-content offset-3 col-9"> 363 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 364 365 <div class="h5"> 366 <a href="/cases-and-claims/how-the-claims-process-works" class="text-white" aria-label="How The Claims Process Works">How The Claims Process Works</a> 367 </div> 368 <hr aria-hidden="true"> 369 <div class="content accent-links"> 370 What happens when you file a claim. 371 </div> 372 </div> 373 </div> 374 </div> 375 </div> 376 </div> 377 </div> 378 </li> 379 <li class="nav-item"> 380 <a class="nav-link nav-link-hover" href="/for-investors" aria-label="Investors">Investors</a> 381 <div class="nav-content"> 382 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 383 <div class="container h-100"> 384 <div class="row h-100 position-relative"> 385 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 386 <div class="fs-6 lh-lg text-white bg-primary"> 387 <div class="content accent-links"> 388 <p> 389 SIPC has recovered billions of dollars for investors. Our job is to recover missing cash or securities if your brokerage firm has gone out of business. 390 SIPC does not protect digital asset securities that are investment contracts that are not registered with the U.S. Securities and Exchange Commission, even if held by a SIPC member brokerage firm. 391</p> <div> 392 SIPC has issued Investor Bulletins explaining SIPC's protection and claims process: 393 <ul> 394 <li><a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-101">Part I ("SIPC Basics")</a></li> 395 <li><a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-102">Part II ("Filing a SIPC Claim")</a></li> 396 </ul> 397</div> <div class="container lh-base mt-2"> 398 <div class="row"> 399 <div class="col-md-6 px-0 pb-3 pe-md-3"> 400 <div class="block-dark text-center p-3"> 401 <a href="/video" aria-label="How SIPC protects you video"> 402 <img src="/assets/img/small-video.png" alt="Watch a short video"> 403 <div>How SIPC Protects You</div> 404 </a> 405 </div> 406 </div> 407 <div class="col-md-6 px-0"> 408 <div class="block-dark text-center p-3"> 409 <a href="/video50" aria-label="First 50 years of protection video"> 410 <img src="/assets/img/small-video-50.png" alt="First 50 years of protection"> 411 <div>First 50 Years of Protection</div> 412 </a> 413 </div> 414 </div> 415 </div> 416</div> 417 418 </div> 419 </div> 420 </div> 421 <div class="nav-content-left col-3 h-100 bg-accent"> 422 <hr aria-hidden="true"> 423 <div class="child-nav-link"> 424 <div><a href="/for-investors/introduction" aria-label="What is SIPC?">What is SIPC?</a></div> 425 <hr aria-hidden="true"> 426 </div> 427 <div class="child-nav-link-content offset-3 col-9"> 428 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 429 430 <div class="h5"> 431 <a href="/for-investors/introduction" class="text-white" aria-label="What is SIPC?">What is SIPC?</a> 432 </div> 433 <hr aria-hidden="true"> 434 <div class="content accent-links"> 435 A brief introduction to SIPC. 436 </div> 437 </div> 438 </div> 439 <div class="child-nav-link"> 440 <div><a href="/for-investors/when-sipc-gets-involved" aria-label="When SIPC Gets Involved">When SIPC Gets Involved</a></div> 441 <hr aria-hidden="true"> 442 </div> 443 <div class="child-nav-link-content offset-3 col-9"> 444 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 445 446 <div class="h5"> 447 <a href="/for-investors/when-sipc-gets-involved" class="text-white" aria-label="When SIPC Gets Involved">When SIPC Gets Involved</a> 448 </div> 449 <hr aria-hidden="true"> 450 <div class="content accent-links"> 451 SIPC steps in if a brokerage firm fails financially, and assets are missing from customer accounts. 452 </div> 453 </div> 454 </div> 455 <div class="child-nav-link"> 456 <div><a href="/for-investors/what-sipc-protects" aria-label="What SIPC Protects">What SIPC Protects</a></div> 457 <hr aria-hidden="true"> 458 </div> 459 <div class="child-nav-link-content offset-3 col-9"> 460 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 461 462 <div class="h5"> 463 <a href="/for-investors/what-sipc-protects" class="text-white" aria-label="What SIPC Protects">What SIPC Protects</a> 464 </div> 465 <hr aria-hidden="true"> 466 <div class="content accent-links"> 467 SIPC protects customer assets when a SIPC-member brokerage firm fails financially. 468 </div> 469 </div> 470 </div> 471 <div class="child-nav-link"> 472 <div><a href="/for-investors/investors-with-multiple-accounts" aria-label="Investors with Multiple Accounts">Investors with Multiple Accounts</a></div> 473 <hr aria-hidden="true"> 474 </div> 475 <div class="child-nav-link-content offset-3 col-9"> 476 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 477 478 <div class="h5"> 479 <a href="/for-investors/investors-with-multiple-accounts" class="text-white" aria-label="Investors with Multiple Accounts">Investors with Multiple Accounts</a> 480 </div> 481 <hr aria-hidden="true"> 482 <div class="content accent-links"> 483 Understand how SIPC protection works if you have multiple accounts. 484 </div> 485 </div> 486 </div> 487 <div class="child-nav-link"> 488 <div><a href="/for-investors/fraud-alert" aria-label="Fraud Alerts">Fraud Alerts</a></div> 489 <hr aria-hidden="true"> 490 </div> 491 <div class="child-nav-link-content offset-3 col-9"> 492 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 493 494 <div class="h5"> 495 <a href="/for-investors/fraud-alert" class="text-white" aria-label="Fraud Alerts">Fraud Alerts</a> 496 </div> 497 <hr aria-hidden="true"> 498 <div class="content accent-links"> 499 See our latest fraud alerts to protect yourself. 500 </div> 501 </div> 502 </div> 503 <div class="child-nav-link"> 504 <div><a href="/for-investors/protecting-against-fraud" aria-label="Protecting Yourself Against Fraud">Protecting Yourself Against Fraud</a></div> 505 <hr aria-hidden="true"> 506 </div> 507 <div class="child-nav-link-content offset-3 col-9"> 508 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 509 510 <div class="h5"> 511 <a href="/for-investors/protecting-against-fraud" class="text-white" aria-label="Protecting Yourself Against Fraud">Protecting Yourself Against Fraud</a> 512 </div> 513 <hr aria-hidden="true"> 514 <div class="content accent-links"> 515 Steps you can take to protect yourself from fraud. 516 </div> 517 </div> 518 </div> 519 <div class="child-nav-link"> 520 <div><a href="/news-and-media/annual-reports" aria-label="SIPC Annual Report">SIPC Annual Report</a></div> 521 <hr aria-hidden="true"> 522 </div> 523 <div class="child-nav-link-content offset-3 col-9"> 524 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 525 526 <div class="h5"> 527 <a href="/news-and-media/annual-reports" class="text-white" aria-label="SIPC Annual Report">SIPC Annual Report</a> 528 </div> 529 <hr aria-hidden="true"> 530 <div class="content accent-links"> 531 The year in review. 532 </div> 533 </div> 534 </div> 535 <div class="child-nav-link"> 536 <div><a href="/news-and-media/brochures" aria-label="Brochures">Brochures</a></div> 537 <hr aria-hidden="true"> 538 </div> 539 <div class="child-nav-link-content offset-3 col-9"> 540 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 541 542 <div class="h5"> 543 <a href="/news-and-media/brochures" class="text-white" aria-label="Brochures">Brochures</a> 544 </div> 545 <hr aria-hidden="true"> 546 <div class="content accent-links"> 547 Download or view SIPC brochures here. 548 </div
548> 549 </div> 550 </div> 551 <div class="child-nav-link"> 552 <div><a href="/resources/faqs?audience=investor" aria-label="Investor FAQs">Investor FAQs</a></div> 553 <hr aria-hidden="true"> 554 </div> 555 <div class="child-nav-link-content offset-3 col-9"> 556 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 557 558 <div class="h5"> 559 <a href="/resources/faqs?audience=investor" class="text-white" aria-label="Investor FAQs">Investor FAQs</a> 560 </div> 561 <hr aria-hidden="true"> 562 <div class="content accent-links"> 563 You have questions, we have answers. 564 </div> 565 </div> 566 </div> 567 </div> 568 </div> 569 </div> 570 </div> 571 </li> 572 <li class="nav-item"> 573 <a class="nav-link nav-link-hover" href="/for-members" aria-label="Member Firms">Member Firms</a> 574 <div class="nav-content"> 575 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 576 <div class="container h-100"> 577 <div class="row h-100 position-relative"> 578 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 579 <div class="fs-6 lh-lg text-white bg-primary"> 580 <div class="content accent-links"> 581 <div class="container"> 582 <div class="row"> 583 <div class="col-md-6 px-0 pb-3 pe-md-3"> 584 <div class="h5">Member Filing Requirements</div> 585 <hr> 586 <p>Questions about filing requirements? Call the membership department at (202) 371-8300 or <a href="/contact-us">contact us</a>.</p> 587 <div class="small"> 588 <a href="/for-members/filing-forms"> 589 How To File Your Assessment Forms (SIPC-6/SIPC-7) 590 <i class="ms-2 fad fa-arrow-right-long"></i> 591 </a> 592 </div> 593 <div class="small"> 594 <a href="/for-members/annual-reports"> 595 How to File Your Annual Report 596 <i class="ms-2 fad fa-arrow-right-long"></i> 597 </a> 598 </div> 599 <div class="small"> 600 <a href="/for-members/rule-600-reports"> 601 How To File Your Agreed-Upon Procedures (AUP) Report 602 <i class="ms-2 fad fa-arrow-right-long"></i> 603 </a> 604 </div> 605 <div class="small"> 606 <a href="/for-members/sipc-3"> 607 How To File Your Form SIPC-3 608 <i class="ms-2 fad fa-arrow-right-long"></i> 609 </a> 610 </div> 611 </div> 612 <div class="col-md-6 px-0"> 613 <div class="h5">Broker-Dealer Portal Information</div> 614 <hr> 615 <p>Information about the broker-dealer portal.</p> 616 <div class="small"> 617 <a href="/for-members/portal-introduction"> 618 Broker-Dealer Portal Introduction 619 <i class="ms-2 fad fa-arrow-right-long"></i> 620 </a> 621 </div> 622 <div class="small"> 623 <a href="/for-members/portal-admin-delegation"> 624 Broker-Dealer Portal Administrator Delegation 625 <i class="ms-2 fad fa-arrow-right-long"></i> 626 </a> 627 </div> 628 <div class="small"> 629 <a href="/for-members/forms"> 630 How To File Broker-Dealer Portal Forms 631 <i class="ms-2 fad fa-arrow-right-long"></i> 632 </a> 633 </div> 634 </div> 635 </div> 636 <div class="row"> 637 <div class="col-md-6 px-0 pb-3 pe-md-3"> 638 <a class="btn btn-secondary btn-lg" href="/for-members/assessments">Pay Your Assessment</a> 639 </div> 640 <div class="col-md-6 px-0"> 641 <a class="btn btn-secondary btn-lg" href="https://portal.sipc.org">Broker-Dealer Portal</a> 642 </div> 643 </div> 644</div> 645 </div> 646 </div> 647 </div> 648 <div class="nav-content-left col-3 h-100 bg-accent"> 649 <hr aria-hidden="true"> 650 <div class="child-nav-link"> 651 <div><a href="/for-members/assessment-rate" aria-label="Assessment Rate">Assessment Rate</a></div> 652 <hr aria-hidden="true"> 653 </div> 654 <div class="child-nav-link-content offset-3 col-9"> 655 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 656 657 <div class="h5"> 658 <a href="/for-members/assessment-rate" class="text-white" aria-label="Assessment Rate">Assessment Rate</a> 659 </div> 660 <hr aria-hidden="true"> 661 <div class="content accent-links"> 662 The current SIPC assessment rate. 663 </div> 664 </div> 665 </div> 666 <div class="child-nav-link"> 667 <div><a href="/for-members/sipc-logo" aria-label="SIPC Logo Rules">SIPC Logo Rules</a></div> 668 <hr aria-hidden="true"> 669 </div> 670 <div class="child-nav-link-content offset-3 col-9"> 671 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 672 673 <div class="h5"> 674 <a href="/for-members/sipc-logo" class="text-white" aria-label="SIPC Logo Rules">SIPC Logo Rules</a> 675 </div> 676 <hr aria-hidden="true"> 677 <div class="content accent-links"> 678 Rules for the use of the SIPC logo. 679 </div> 680 </div> 681 </div> 682 <div class="child-nav-link"> 683 <div><a href="/for-members/order" aria-label="Order Brochures, Signs, and Decals">Order Brochures, Signs, and Decals</a></div> 684 <hr aria-hidden="true"> 685 </div> 686 <div class="child-nav-link-content offset-3 col-9"> 687 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 688 689 <div class="h5"> 690 <a href="/for-members/order" class="text-white" aria-label="Order Brochures, Signs, and Decals">Order Brochures, Signs, and Decals</a> 691 </div> 692 <hr aria-hidden="true"> 693 <div class="content accent-links"> 694 Instructions on how to order SIPC material. 695 </div> 696 </div> 697 </div> 698 <div class="child-nav-link"> 699 <div><a href="/for-investors/fraud-alert" aria-label="Fraud Alerts">Fraud Alerts</a></div> 700 <hr aria-hidden="true"> 701 </div> 702 <div class="child-nav-link-content offset-3 col-9"> 703 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 704 705 <div class="h5"> 706 <a href="/for-investors/fraud-alert" class="text-white" aria-label="Fraud Alerts">Fraud Alerts</a> 707 </div> 708 <hr aria-hidden="true"> 709 <div class="content accent-links"> 710 See our latest fraud alerts to protect yourself. 711 </div> 712 </div> 713 </div> 714 <div class="child-nav-link"> 715 <div><a href="/portal" aria-label="Broker-Dealer Portal Information">Broker-Dealer Portal Information</a></div> 716 <hr aria-hidden="true"> 717 </div> 718 <div class="child-nav-link-content offset-3 col-9"> 719 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 720 721 <div class="h5"> 722 <a href="/portal" class="text-white" aria-label="Broker-Dealer Portal Information">Broker-Dealer Portal Information</a> 723 </div> 724 <hr aria-hidden="true"> 725 <div class="content accent-links"> 726 Information about the Broker-Dealer Portal. 727 </div> 728 </div> 729 </div> 730 <div class="child-nav-link"> 731 <div><a href="/for-members/portal-webinar" aria-label="Broker-Dealer Portal Webinar">Broker-Dealer Portal Webinar</a></div> 732 <hr aria-hidden="true"> 733 </div> 734 <div class="child-nav-link-content offset-3 col-9"> 735 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 736 737 <div class="h5"> 738 <a href="/for-members/portal-webinar" class="text-white" aria-label="Broker-Dealer Portal Webinar">Broker-Dealer Portal Webinar</a> 739 </div> 740 <hr aria-hidden="true"> 741 <div class="content accent-links"> 742 Watch a webinar about the Broker-Dealer Portal. 743 </div> 744 </div> 745 </div> 746 <div class="child-nav-link"> 747 <div><a href="/resources/faqs?audience=member" aria-label="Member FAQs">Member FAQs</a></div> 748 <hr aria-hidden="true"> 749 </div> 750 <div class="child-nav-link-content offset-3 col-9"> 751 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 752 753 <div class="h5"> 754 <a href="/resources/faqs?audience=member" class="text-white" aria-label="Member FAQs">Member FAQs</a> 755 </div> 756 <hr aria-hidden="true"> 757 <div class="content accent-links"> 758 You have questions, we have answers. 759 </div> 760 </div> 761 </div> 762 </div> 763 </div> 764 </div> 765 </div> 766 </li> 767 <li class="nav-item"> 768 <a class="nav-link nav-link-hover" href="/news-and-media" aria-label="News & Media">News & Media</a> 769 <div class="nav-content"> 770 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 771 <div class="container h-100"> 772 <div class="row h-100 position-relative"> 773 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 774 <div class="fs-6 lh-lg text-white bg-primary"> 775 776 <div class="h5"> 777 <a href="/news-and-media" class="text-white" aria-label="News & Media">News & Media</a> 778 </div> 779 <hr aria-hidden="true"> 780 <div class="content accent-links"> 781 News releases, brochures, reports, and more. 782 </div> 783 </div> 784 </div> 785 <div class="nav-content-left col-3 h-100 bg-accent"> 786
786 <hr aria-hidden="true"> 787 <div class="child-nav-link"> 788 <div><a href="/news-and-media/news-releases" aria-label="News Releases">News Releases</a></div> 789 <hr aria-hidden="true"> 790 </div> 791 <div class="child-nav-link-content offset-3 col-9"> 792 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 793 794 <div class="h5"> 795 <a href="/news-and-media/news-releases" class="text-white" aria-label="News Releases">News Releases</a> 796 </div> 797 <hr aria-hidden="true"> 798 <div class="content accent-links"> 799 Official announcements and other newsworthy information. 800 </div> 801 </div> 802 </div> 803 <div class="child-nav-link"> 804 <div><a href="/news-and-media/speeches-and-testimony" aria-label="Speeches and Testimony">Speeches and Testimony</a></div> 805 <hr aria-hidden="true"> 806 </div> 807 <div class="child-nav-link-content offset-3 col-9"> 808 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 809 810 <div class="h5"> 811 <a href="/news-and-media/speeches-and-testimony" class="text-white" aria-label="Speeches and Testimony">Speeches and Testimony</a> 812 </div> 813 <hr aria-hidden="true"> 814 <div class="content accent-links"> 815 Speeches and other appearances by SIPC personnel. 816 </div> 817 </div> 818 </div> 819 <div class="child-nav-link"> 820 <div><a href="/news-and-media/brochures" aria-label="Brochures">Brochures</a></div> 821 <hr aria-hidden="true"> 822 </div> 823 <div class="child-nav-link-content offset-3 col-9"> 824 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 825 826 <div class="h5"> 827 <a href="/news-and-media/brochures" class="text-white" aria-label="Brochures">Brochures</a> 828 </div> 829 <hr aria-hidden="true"> 830 <div class="content accent-links"> 831 Download or view SIPC brochures here. 832 </div> 833 </div> 834 </div> 835 <div class="child-nav-link"> 836 <div><a href="/news-and-media/annual-reports" aria-label="Annual Reports">Annual Reports</a></div> 837 <hr aria-hidden="true"> 838 </div> 839 <div class="child-nav-link-content offset-3 col-9"> 840 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 841 842 <div class="h5"> 843 <a href="/news-and-media/annual-reports" class="text-white" aria-label="Annual Reports">Annual Reports</a> 844 </div> 845 <hr aria-hidden="true"> 846 <div class="content accent-links"> 847 The year in review. 848 </div> 849 </div> 850 </div> 851 <div class="child-nav-link"> 852 <div><a href="/news-and-media/in-the-media" aria-label="In the Media">In the Media</a></div> 853 <hr aria-hidden="true"> 854 </div> 855 <div class="child-nav-link-content offset-3 col-9"> 856 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 857 858 <div class="h5"> 859 <a href="/news-and-media/in-the-media" class="text-white" aria-label="In the Media">In the Media</a> 860 </div> 861 <hr aria-hidden="true"> 862 <div class="content accent-links"> 863 Speeches and other appearances relating to SIPC. 864 </div> 865 </div> 866 </div> 867 <div class="child-nav-link"> 868 <div><a href="/news-and-media/media-contact" aria-label="Media Contact">Media Contact</a></div> 869 <hr aria-hidden="true"> 870 </div> 871 <div class="child-nav-link-content offset-3 col-9"> 872 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 873 874 <div class="h5"> 875 <a href="/news-and-media/media-contact" class="text-white" aria-label="Media Contact">Media Contact</a> 876 </div> 877 <hr aria-hidden="true"> 878 <div class="content accent-links"> 879 Get in touch with our media team. 880 </div> 881 </div> 882 </div> 883 </div> 884 </div> 885 </div> 886 </div> 887 </li> 888 <li class="nav-item"> 889 <a class="nav-link nav-link-hover" href="/resources" aria-label="Resources">Resources</a> 890 <div class="nav-content"> 891 <button type="button" class="nav-content-close btn-close btn-close-white position-absolute top-0 end-0 m-3 z-3" aria-label="Close Menu"></button> 892 <div class="container h-100"> 893 <div class="row h-100 position-relative"> 894 <div class="nav-content-right order-last col-9 h-100 bg-primary"> 895 <div class="fs-6 lh-lg text-white bg-primary"> 896 897 <div class="h5"> 898 <a href="/resources" class="text-white" aria-label="Resources">Resources</a> 899 </div> 900 <hr aria-hidden="true"> 901 <div class="content accent-links"> 902 A variety of helpful information and resources about SIPC. 903 </div> 904 </div> 905 </div> 906 <div class="nav-content-left col-3 h-100 bg-accent"> 907 <hr aria-hidden="true"> 908 <div class="child-nav-link"> 909 <div><a href="/resources/faqs" aria-label="FAQs">FAQs</a></div> 910 <hr aria-hidden="true"> 911 </div> 912 <div class="child-nav-link-content offset-3 col-9"> 913 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 914 915 <div class="h5"> 916 <a href="/resources/faqs" class="text-white" aria-label="FAQs">FAQs</a> 917 </div> 918 <hr aria-hidden="true"> 919 <div class="content accent-links"> 920 You have questions, we have answers. 921 </div> 922 </div> 923 </div> 924 <div class="child-nav-link"> 925 <div><a href="/resources/glossary" aria-label="Glossary">Glossary</a></div> 926 <hr aria-hidden="true"> 927 </div> 928 <div class="child-nav-link-content offset-3 col-9"> 929 <div class="child-nav-content h-100 fs-6 lh-lg text-white bg-primary"> 930 931 <div class="h5"> 932 <a href="/resources/glossary" class="text-white" aria-label="Glossary">Glossary</a> 933 </div> 934 <hr aria-hidden="true"> 935 <div class="content accent-links"> 936 Frequently used terms and their definitions. 937 </div> 938 </div> 939 </div> 940 </div> 941 </div> 942 </div> 943 </div> 944 </li> 945 <li class="nav-item"> 946 <a class="nav-link" href="/contact-us" aria-label="Contact Us">Contact Us</a> 947 </li> 948 </ul> 949 </div> 950</div> 951 952<!-- Secondary Navigation (Desktop) --> 953<div id="secondary-nav-desktop" class="d-print-none d-none d-lg-block container-fluid"> 954 <div class="container d-flex align-items-center flex-row-reverse"> 955 <ul class="nav justify-content-end d-flex align-items-center"> 956 <li class="nav-item"> 957 <a class="nav-link text-accent link-emphasis py-1 link-accent fw-semibold text-normal" href="https://portal.sipc.org" aria-label="Broker-Dealer Portal">Broker-Dealer Portal</a> 958 </li> 959 <li class="nav-item"> 960 <a class="nav-link text-accent link-emphasis py-1 link-accent fw-semibold text-normal" href="/list-of-members" aria-label="List of Members">List of Members</a> 961 </li> 962 <li class="nav-item"> 963 <a class="nav-link text-accent link-emphasis py-1 link-accent fw-semibold text-normal" href="https://www.linkedin.com/company/securities-investor-protection-corp" aria-label="SIPC LinkedIn Account"><i class="fa-brands fa-linkedin"></i> Follow Us On LinkedIn</a> 964 </li> 965 <li class="nav-item d-flex align-items-center"> 966 <form class="input-group nav-link d-flex py-0" action="/search"> 967 <input id="search" type="search" name="query" class="form-control form-control-sm py-0 min-h-0" placeholder="SEARCH..." aria-label="Search" aria-describedby="search-site"> 968 <button id="search-site" class="btn btn-outline-light bg-primary-subtle text-primary btn-sm py-0" type="submit" aria-label="Search"> 969 <i class="fad fa-search"></i> 970 </button> 971 </form> 972 </li> 973 </ul> 974 </div> 975</div> 976 <div id="primary-nav-mobile" class="d-print-none d-lg-none container-fluid bg-blue-light bg-gradient-light d-flex align-items-center"> 977 <div class="flex-grow-1 py-2"><span class="logo-wrapper"><a id="logo-mobile" class="logo" href="/" aria-label="Securities Investor Protection Corporation Homepage"></a></span></div> 978 979 <!-- Top-Level Menu --> 980 <div id="menu"> 981 <hr aria-hidden="true"> 982 <div class="d-flex"> 983 <a href="#menu-about-sipc" role="button" aria-label="Expand About Us Menu" class="flex-grow-1">About Us</a> 984 <a href="#menu-about-sipc" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 985 </div> 986 <div class="content accent-links small text-light ms-3 mt-1"> 987 We are a non-profit corporation created by Congress that has been protecting investors for over 50 years. We work to restore investorsâ cash and securities if their brokerage firm fails. SIPC has recovered billions of dollars for investors. 988 989 </div> 990 <hr aria-hidden="true"> 991 <div class="d-flex"> 992 <a href="#menu-cases-and-claims" role="button" aria-label="Expand Cases &
992 Claims Menu" class="flex-grow-1">Cases & Claims</a> 993 <a href="#menu-cases-and-claims" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 994 </div> 995 <div class="content accent-links small text-light ms-3 mt-1"> 996 <div class="mb-3"> 997 View information about <a href="/cases-and-claims/how-to-file-a-claim">claim forms</a> and 998 <a href="/cases-and-claims/deadlines">deadlines</a> for open cases here. 999</div> 1000<div> 1001 <i>SIPC has restored billions of dollars for investors.</i> 1002</div> 1003 1004 </div> 1005 <hr aria-hidden="true"> 1006 <div class="d-flex"> 1007 <a href="#menu-for-investors" role="button" aria-label="Expand Investors Menu" class="flex-grow-1">Investors</a> 1008 <a href="#menu-for-investors" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 1009 </div> 1010 <div class="content accent-links small text-light ms-3 mt-1"> 1011 SIPC has recovered billions of dollars for investors. 1012 </div> 1013 <hr aria-hidden="true"> 1014 <div class="d-flex"> 1015 <a href="#menu-for-members" role="button" aria-label="Expand Member Firms Menu" class="flex-grow-1">Member Firms</a> 1016 <a href="#menu-for-members" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 1017 </div> 1018 <div class="content accent-links small text-light ms-3 mt-1"> 1019 SIPC member brokerage firms can find information here about filing requirements, the SIPC assessment, and the SIPC logo. 1020 </div> 1021 <hr aria-hidden="true"> 1022 <div class="d-flex"> 1023 <a href="#menu-news-and-media" role="button" aria-label="Expand News & Media Menu" class="flex-grow-1">News & Media</a> 1024 <a href="#menu-news-and-media" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 1025 </div> 1026 <div class="content accent-links small text-light ms-3 mt-1"> 1027 News releases, brochures, reports, and more. 1028 </div> 1029 <hr aria-hidden="true"> 1030 <div class="d-flex"> 1031 <a href="#menu-resources" role="button" aria-label="Expand Resources Menu" class="flex-grow-1">Resources</a> 1032 <a href="#menu-resources" role="button" aria-hidden="true" tabindex="-1"><i class="fad fa-arrow-right-long"></i></a> 1033 </div> 1034 <div class="content accent-links small text-light ms-3 mt-1"> 1035 A variety of helpful information and resources about SIPC. 1036 </div> 1037 <hr aria-hidden="true"> 1038 <div> 1039 <a href="https://portal.sipc.org">Broker-Dealer Portal</a> 1040 </div> 1041 <hr aria-hidden="true"> 1042 <div> 1043 <a href="/list-of-members">List of Members</a> 1044 </div> 1045 <hr aria-hidden="true"> 1046 <div> 1047 <a href="/contact-us">Contact Us</a> 1048 </div> 1049 <hr aria-hidden="true"> 1050 <div> 1051 <a href="https://www.linkedin.com/company/securities-investor-protection-corp"><i class="fa-brands fa-linkedin"></i> Follow Us On LinkedIn</a> 1052 </div> 1053 <hr aria-hidden="true"> 1054 <div class="small text-end"> 1055 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1056 </div> 1057 </div> 1058 1059 <!-- Child Menus --> 1060 <div id="menu-about-sipc"> 1061 <div class="small pb-2"> 1062 <a href="#menu" role="button" class="text-accent text-uppercase" aria-label="Back To Top Level Menu"><i class="fad fa-arrow-left-long"></i> Back</a> 1063 </div> 1064 <div class="h5 pb-2"> 1065 <a href="/about-sipc">About Us</a> 1066 </div> 1067 <hr aria-hidden="true"> 1068 <div> 1069 <a href="/about-sipc/sipc-mission">Our Mission</a> 1070 </div> 1071 <div class="content accent-links small text-light ms-3 mt-1"> 1072 SIPC works to restore investorsâ assets if a brokerage firm fails financially. 1073 </div> 1074 <hr aria-hidden="true"> 1075 <div> 1076 <a href="/about-sipc/history">History and Track Record</a> 1077 </div> 1078 <div class="content accent-links small text-light ms-3 mt-1"> 1079 SIPC has restored billions of dollars for investors. 1080 </div> 1081 <hr aria-hidden="true"> 1082 <div> 1083 <a href="/about-sipc/leadership">Leadership</a> 1084 </div> 1085 <div class="content accent-links small text-light ms-3 mt-1"> 1086 Our job is to recover missing assets if your brokerage firm fails financially. 1087 </div> 1088 <hr aria-hidden="true"> 1089 <div> 1090 <a href="/about-sipc/the-sipc-logo">The SIPC Logo</a> 1091 </div> 1092 <div class="content accent-links small text-light ms-3 mt-1"> 1093 The SIPC logo means your assets are protected under the Securities Investor Protection Act (SIPA). 1094 </div> 1095 <hr aria-hidden="true"> 1096 <div> 1097 <a href="/about-sipc/the-sipc-fund">The SIPC Fund</a> 1098 </div> 1099 <div class="content accent-links small text-light ms-3 mt-1"> 1100 SIPC maintains resources from which we can draw to restore customer assets. 1101 </div> 1102 <hr aria-hidden="true"> 1103 <div> 1104 <a href="/about-sipc/statute-and-rules">Statute and Rules</a> 1105 </div> 1106 <div class="content accent-links small text-light ms-3 mt-1"> 1107 SIPC is a non-profit corporation created by Congress some 50 years ago. 1108 </div> 1109 <hr aria-hidden="true"> 1110 <div> 1111 <a href="/news-and-media/annual-reports">SIPC Annual Report</a> 1112 </div> 1113 <div class="content accent-links small text-light ms-3 mt-1"> 1114 The year in review. 1115 </div> 1116 <hr aria-hidden="true"> 1117 <div> 1118 <a href="/news-and-media/brochures">Brochures</a> 1119 </div> 1120 <div class="content accent-links small text-light ms-3 mt-1"> 1121 Download or view SIPC brochures here. 1122 </div> 1123 <hr aria-hidden="true"> 1124 <div> 1125 <a href="/about-sipc/careers">Careers</a> 1126 </div> 1127 <div class="content accent-links small text-light ms-3 mt-1"> 1128 Join our community of purpose-driven professionals and help to advance our mission of providing investor protection. 1129 </div> 1130 <hr aria-hidden="true"> 1131 <div class="small text-end"> 1132 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Filing deadlines explained. 1148 </div> 1149 <hr aria-hidden="true"> 1150 <div> 1151 <a href="/cases-and-claims/open-cases">All Open Cases</a> 1152 </div> 1153 <div class="content accent-links small text-light ms-3 mt-1"> 1154 Cases that are still being processed. 1155 </div> 1156 <hr aria-hidden="true"> 1157 <div> 1158 <a href="/cases-and-claims/how-to-file-a-claim">How To File a Claim</a> 1159 </div> 1160 <div class="content accent-links small text-light ms-3 mt-1"> 1161 Details on how to file a claim. 1162 </div> 1163 <hr aria-hidden="true"> 1164 <div>
1165 <a href="/cases-and-claims/how-a-liquidation-works">How a Liquidation Works</a> 1166 </div> 1167 <div class="content accent-links small text-light ms-3 mt-1"> 1168 Steps SIPC takes to recover customer assets if a brokerage firm fails financially. 1169 </div> 1170 <hr aria-hidden="true"> 1171 <div> 1172 <a href="/cases-and-claims/how-the-claims-process-works">How The Claims Process Works</a> 1173 </div> 1174 <div class="content accent-links small text-light ms-3 mt-1"> 1175 What happens when you file a claim. 1176 </div> 1177 <hr aria-hidden="true"> 1178 <div class="small text-end"> 1179 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1180 </div> 1181 </div> 1182 <div id="menu-for-investors"> 1183 <div class="small pb-2"> 1184 <a href="#menu" role="button" class="text-accent text-uppercase" aria-label="Back To Top Level Menu"><i class="fad fa-arrow-left-long"></i> Back</a> 1185 </div> 1186 <div class="h5 pb-2"> 1187 <a href="/for-investors">Investors</a> 1188 </div> 1189 <hr aria-hidden="true"> 1190 <div> 1191 <a href="/for-investors/introduction">What is SIPC?</a> 1192 </div> 1193 <div class="content accent-links small text-light ms-3 mt-1"> 1194 A brief introduction to SIPC. 1195 </div> 1196 <hr aria-hidden="true"> 1197 <div> 1198 <a href="/for-investors/when-sipc-gets-involved">When SIPC Gets Involved</a> 1199 </div> 1200 <div class="content accent-links small text-light ms-3 mt-1"> 1201 SIPC steps in if a brokerage firm fails financially, and assets are missing from customer accounts. 1202 </div> 1203 <hr aria-hidden="true"> 1204 <div> 1205 <a href="/for-investors/what-sipc-protects">What SIPC Protects</a> 1206 </div> 1207 <div class="content accent-links small text-light ms-3 mt-1"> 1208 SIPC protects customer assets when a SIPC-member brokerage firm fails financially. 1209 </div> 1210 <hr aria-hidden="true"> 1211 <div> 1212 <a href="/for-investors/investors-with-multiple-accounts">Investors with Multiple Accounts</a> 1213 </div> 1214 <div class="content accent-links small text-light ms-3 mt-1"> 1215 Understand how SIPC protection works if you have multiple accounts. 1216 </div> 1217 <hr aria-hidden="true"> 1218 <div> 1219 <a href="/for-investors/fraud-alert">Fraud Alerts</a> 1220 </div> 1221 <div class="content accent-links small text-light ms-3 mt-1"> 1222 See our latest fraud alerts to protect yourself. 1223 </div> 1224 <hr aria-hidden="true"> 1225 <div> 1226 <a href="/for-investors/protecting-against-fraud">Protecting Yourself Against Fraud</a> 1227 </div> 1228 <div class="content accent-links small text-light ms-3 mt-1"> 1229 Steps you can take to protect yourself from fraud. 1230 </div> 1231 <hr aria-hidden="true"> 1232 <div> 1233 <a href="/news-and-media/annual-reports">SIPC Annual Report</a> 1234 </div> 1235 <div class="content accent-links small text-light ms-3 mt-1"> 1236 The year in review. 1237 </div> 1238 <hr aria-hidden="true"> 1239 <div> 1240 <a href="/news-and-media/brochures">Brochures</a> 1241 </div> 1242 <div class="content accent-links small text-light ms-3 mt-1"> 1243 Download or view SIPC brochures here. 1244 </div> 1245 <hr aria-hidden="true"> 1246 <div> 1247 <a href="/resources/faqs?audience=investor">Investor FAQs</a> 1248 </div> 1249 <div class="content accent-links small text-light ms-3 mt-1"> 1250 You have questions, we have answers. 1251 </div> 1252 <hr aria-hidden="true"> 1253 <div class="small text-end"> 1254 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1255 </div> 1256 </div> 1257 <div id="menu-for-members"> 1258 <div class="small pb-2"> 1259 <a href="#menu" role="button" class="text-accent text-uppercase" aria-label="Back To Top Level Menu"><i class="fad fa-arrow-left-long"></i> Back</a> 1260 </div> 1261 <div class="h5 pb-2"> 1262 <a href="/for-members">Member Firms</a> 1263 </div> 1264 <hr aria-hidden="true"> 1265 <div> 1266 <a href="/for-members/assessment-rate">Assessment Rate</a> 1267 </div> 1268 <div class="content accent-links small text-light ms-3 mt-1"> 1269 The current SIPC assessment rate. 1270 </div> 1271 <hr aria-hidden="true"> 1272 <div> 1273 <a href="/for-members/sipc-logo">SIPC Logo Rules</a> 1274 </div> 1275 <div class="content accent-links small text-light ms-3 mt-1"> 1276 Rules for the use of the SIPC logo. 1277 </div> 1278 <hr aria-hidden="true"> 1279 <div> 1280 <a href="/for-members/order">Order Brochures, Signs, and Decals</a> 1281 </div> 1282 <div class="content accent-links small text-light ms-3 mt-1"> 1283 Instructions on how to order SIPC material. 1284 </div> 1285 <hr aria-hidden="true"> 1286 <div> 1287 <a href="/for-investors/fraud-alert">Fraud Alerts</a> 1288 </div> 1289 <div class="content accent-links small text-light ms-3 mt-1"> 1290 See our latest fraud alerts to protect yourself. 1291 </div> 1292 <hr aria-hidden="true"> 1293 <div> 1294 <a href="/portal">Broker-Dealer Portal Information</a> 1295 </div> 1296 <div class="content accent-links small text-light ms-3 mt-1"> 1297 Information about the Broker-Dealer Portal. 1298 </div> 1299 <hr aria-hidden="true"> 1300 <div> 1301 <a href="/for-members/portal-webinar">Broker-Dealer Portal Webinar</a> 1302 </div> 1303 <div class="content accent-links small text-light ms-3 mt-1"> 1304 Watch a webinar about the Broker-Dealer Portal. 1305 </div> 1306 <hr aria-hidden="true"> 1307 <div> 1308 <a href="/resources/faqs?audience=member">Member FAQs</a> 1309 </div> 1310 <div class="content accent-links small text-light ms-3 mt-1"> 1311 You have questions, we have answers. 1312 </div> 1313 <hr aria-hidden="true"> 1314 <div class="small text-end"> 1315 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1316 </div> 1317 </div> 1318 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ms-3 mt-1"> 1344 Download or view SIPC brochures here. 1345 </div> 1346 <hr aria-hidden="true"> 1347 <div> 1348 <a href="/news-and-media/annual-reports">Annual Reports</a> 1349 </div> 1350 <div class="content accent-links small text-light ms-3 mt-1"> 1351 The year in review. 1352 </div> 1353 <hr aria-hidden="true"> 1354 <div> 1355 <a href="/news-and-media/in-the-media">In the Media</a> 1356 </div> 1357 <div class="content accent-links small text-light ms-3 mt-1"> 1358 Speeches and other appearances relating to SIPC. 1359 </div> 1360 <hr aria-hidden="true"> 1361 <div> 1362 <a href="/news-and-media/media-contact">Media Contact</a> 1363 </div> 1364 <div class="content accent-links small text-light ms-3 mt-1"> 1365 Get in touch with our media team. 1366 </div> 1367 <hr aria-hidden="true"> 1368 <div class="small text-end"> 1369 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1370 </div> 1371 </div> 1372 <div id="menu-resources"> 1373 <div class="small pb-2"> 1374 <a href="#menu" role="button" class="text-accent text-uppercase" aria-label="Back To Top Level Menu"><i class="fad fa-arrow-left-long"></i> Back</a> 1375 </div> 1376 <div class="h5 pb-2"> 1377 <a href="/resources">Resources</a> 1378 </div> 1379 <hr aria-hidden="true"> 1380 <div> 1381 <a href="/resources/faqs">FAQs</a> 1382 </div> 1383 <div class="content accent-links small text-light ms-3 mt-1"> 1384 You have questions, we have answers. 1385 </div> 1386 <hr aria-hidden="true"> 1387 <div> 1388 <a href="/resources/glossary">Glossary</a> 1389 </div> 1390 <div class="content accent-links small text-light ms-3 mt-1"> 1391 Frequently used terms and their definitions. 1392 </div> 1393 <hr aria-hidden="true"> 1394 <div class="small text-end"> 1395 <a href="#mobile-hamburger" role="button" aria-label="Collapse Navigation" class="text-blue-light"><i class="fad fa-times"></i> Collapse Navigation</a> 1396 </div> 1397 </div> 1398 1399 <!-- Search Menu --> 1400 <div id="search-menu"> 1401 <form class="input-group nav-link d-flex py-0 mb-2" action="/search"> 1402 <input id="search" type="search" name="query" class="form-control form-control py-0 min-h-0" placeholder="SEARCH..." aria-label="Search" aria-describedby="search-addon"> 1403 <button id="search-addon" class="btn btn-outline-light bg-white text-muted btn py-0" type="submit" aria-label="Search"> 1404 <i class="fad fa-search"></i> 1405 </button> 1406 </form> 1407 <div class="small text-end"> 1408 <a href="#mobile-search" role="button" aria-label="Collapse Search" class="text-blue-light"><i class="fad fa-times"></i> Collapse Search</a> 1409 </div> 1410 </div> 1411 1412 <!-- Navigation Links --> 1413 <div id="mobile-search" class="nav-link-mobile"> 1414 <a href="#search-menu" aria-label="Expand Search" role="button" class="link-secondary"><i class="fa-solid fa-search"></i></a> 1415 </div> 1416 <div id="mobile-search-x" class="nav-link-mobile"> 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1434 <div id="banner-content" class="container d-flex justify-content-center align-items-center"> 1435 <div class="col-12 display-4 fw-bold lh-1 text-white"> 1436 For Investors 1437 </div> 1438 1439 <div id="banner-details"> 1440 <div id="banner-description">Mud Island Park Bridge in Tennessee</div> 1441 <div id="banner-attribution">Photo by Terrance Raper</div> 1442 </div> 1443 </div> 1444 </div> 1445 1446 1447 </header> 1448 1449 <!-- Content (the v-cloak only applies if the page uses Vue) --> 1450 <main> 1451 <div id="content-container" class="flex-grow-1 d-flex flex-column"> 1452 <img id="logo-print" src="/assets/img/sipc-logo-old.svg" class="d-none" alt="SIPC"> 1453 <div class="container-fluid print-0"> 1454 <div class="container py-4 flex-grow-1 d-flex flex-column print-0"> 1455 1456 <!-- Breadcrumbs --> 1457 <div id="breadcrumbs" class="d-print-none row mb-4"> 1458 <div class="col small"> 1459 <a href="/">Home</a> 1460 <i class="text-muted fad fa-caret-right"></i> 1461 <a href="/for-investors">For Investors</a> 1462 <i class="text-muted fad fa-caret-right"></i> 1463 <span>Investors with Multiple Accounts</span> 1464 </div> 1465 </div> 1466 1467 <!-- Title --> 1468 <!-- Title (Normal) --> 1469 <div class="row"> 1470 <div class="col"> 1471 <div id="title"> 1472 <h1>Investors with Multiple Accounts</h1> 1473 <hr aria-hidden="true"> 1474 </div> 1475 </div> 1476 </div> 1477 1478 <div class="row flex-grow-1"> 1479 <div class="col"> 1480 1481 <!-- Title (Lowered) --> 1482 1483 <!-- Main Content (Normal) --> 1484 <div id="content"> 1485 <p>SIPC protection of customers with multiple accounts is determined by "separate capacity." Each separate capacity is protected up to $500,000 for securities and cash (including a $250,000 limit for cash only). Accounts held in the same capacity are combined for purposes of the SIPC protection limits.</p> 1486<p>Examples of separate capacities are:</p> 1487<ul> 1488 <li>individual account;</li> 1489 <li>joint account;</li> 1490 <li>an account for a corporation;</li> 1491 <li>an account for a trust created under state law;</li> 1492 <li>an individual retirement account;</li> 1493 <li>a Roth individual retirement account;</li> 1494 <li>an account held by an executor for an estate; and</li> 1495 <li>an account held by a guardian for a ward or minor.</li> 1496</ul> 1497<p>Additional information on separate accounts may be found in SIPC's <a href="/about-sipc/statute-and-rules/series100">Series 100 Rules</a>.</p> 1498<p>The following are examples of separate accounts:</p> 1499<ul> 1500 <li>Mary has an account in her name at her brokerage firm. Mary is protected by SIPC up to $500,000.</li> 1501 <li>Joe has two brokerage accounts, each in his own name. For purposes of SIPC protection, Joeâs accounts are combined, and Joe is protected by SIPC only up to a total of $500,000.</li> 1502 <li>Joe and Mary are married and they have a joint brokerage account which is separate from the individual accounts that they each have at the firm. An additional maximum of $500,000 of SIPC protection is available for the joint account.</li> 1503 <li>Joe has a Roth account and an IRA account, at the same brokerage. Joe is protected up to $500,000 for the Roth account and up to $500,000 for his IRA account.</li> 1504</ul> 1505 </div> 1506 1507 </div> 1508 1509 <!-- Sidebar --> 1510 </div> 1511 </div> 1512 </div> 1513 1514 <!-- Bottom Content --> 1515 </div> 1516 </main> 1517 1518 <!-- Bottom --> 1519 <footer> 1520<!-- Help Suggestions --> 1521<div class="d-print-none container-fluid py-4 bg-dark bg-gradient"> 1522 <div class="container"> 1523 <div class="row"> 1524 <div class="col-12 col-md-6 col-lg-8 pb-4 pb-md-0 d-flex flex-column text-md-end"> 1525 <div class="h4 text-accent">Looking for help?</div> 1526 <div class="text-white">Try one of these resources</div> 1527 </div> 1528 <div class="col-12 col-md-6 col-lg-4"> 1529 <hr aria-hidden="true" class="text-accent my-1"> 1530 <div class="text-end"> 1531 <a href="/resources/faqs" class="text-white"> 1532 Frequently Asked Questions (FAQs) 1533 <i class="text-accent ms-4 fad fa-arrow-right-long"></i> 1534 </a> 1535 </div> 1536 <hr aria-hidden="true" class="text-accent my-1"> 1537 <div class="text-end"> 1538 <a href="/resources/glossary" class="text-white"> 1539 Glossary 1540 <i class="text-accent ms-4 fad fa-arrow-right-long"></i> 1541 </a> 1542 </div> 1543 <hr aria-hidden="true" class="text-accent my-1"> 1544 <div class="text-end"> 1545 <a href="/list-of-members" class="text-white"> 1546 List of Members 1547 <i class="text-accent ms-4 fad fa-arrow-right-long"></i> 1548 </a> 1549 </div> 1550 <hr aria-hidden="true" class="text-accent my-1"> 1551 <div class="text-end"> 1552 <a href="/search" class="text-white"> 1553 Search 1554 <i class="text-accent ms-4 fad fa-arrow-right-long"></i> 1555 </a> 1556 </div> 1557 <hr aria-hidden="true" class="text-accent my-1"> 1558 </div> 1559 </div> 1560 </div> 1561</div> 1562 1563<!-- Footer --> 1564<div id="footer" class="d-print-none container-fluid py-4 bg-primary bg-gradient"> 1565 <div class="container"> 1566 <div class="row fs-sm text-white lh-sm opacity-75"> 1567 <div class="col-12 col-md-4 pb-4 pb-md-0"> 1568 <div><span class="logo-wrapper"><a id="logo-footer" href="/" aria-label="Securities Investor Protection Corporation Homepage"></a></span></div> 1569 <div>© Securities Investor Protection Corporation.</div> 1570 <div>All rights reserved.</div> 1571 </div> 1572 <div class="col-12 col-md-2 pb-4 pb-md-0"> 1573 <div> 1574 <a class="text-white" href="/about-sipc" aria-label="About Us">About Us</a> 1575 </div> 1576 <div> 1577 <a class="text-white" href="/cases-and-claims" aria-label="Cases & Claims">Cases & Claims</a> 1578 </div> 1579 <div> 1580 <a class="text-white" href="/for-investors" aria-label="Investors">Investors</a> 1581 </div> 1582 <div> 1583 <a class="text-white" href="/for-members" aria-label="Member Firms">Member Firms</a> 1584 </div> 1585 <div> 1586 <a class="text-white" href="/news-and-media" aria-label="News & Media">News & Media</a> 1587 </div> 1588 <div> 1589 <a class="text-white" href="/resources" aria-label="Resources">Resources</a> 1590 </div> 1591 <div><a href="/contact-us" aria-label="Contact Us" class="text-white">Contact Us</a></div> 1592 <div><a href="https://portal.sipc.org" class="text-white">Broker-Dealer Portal</a></div> 1593 <div><a href="/list-of-members" aria-label="List of Members" class="text-white">List of Members</a></div> 1594 </div> 1595 <div class="col-12 col-md-2 pb-4 pb-md-0"> 1596 <div><a href="/about-sipc/careers" aria-label="Careers" class="text-white">Careers</a></div> 1597 <div><a href="/disclaimer" aria-label="Disclaimer" class="text-white">Disclaimer</a></div> 1598 <div><a href="/privacy-policy" aria-label="Privacy Policy" class="text-white">Privacy Policy</a></div> 1599 <div><a href="/site-map" aria-label="Site Map" class="text-white">Site Map</a></div> 1600 <div><a href="/search" aria-label="Search" class="text-white">Search</a></div> 1601 <div class="fs-6 mt-2"> 1602 <a href="https://www.facebook.com/sipcorg" aria-label="SIPC Facebook Account" class="text-white"><i class="fa-brands fa-facebook"></i></a> 1603 <a href="https://www.linkedin.com/company/securities-investor-protection-corp" aria-label="SIPC LinkedIn Account" class="text-white"><i class="fa-brands fa-linkedin"></i></a> 1604 </div> 1605 </div> 1606 <div class="col-12 col-md-4"> 1607 <div> 1608 Securities Investor Protection Corporation<br> 1609 1730 Pennsylvania Avenue NW, Suite 900<br> 1610 Washington, D.C. 20006 1611 </div> 1612 <div class="mt-2"> 1613 Telephone: (202) 371-8300<br> 1614 Fax: (202) 223-1679<br> 1615 <a href="/contact-us" aria-label="Contact Us" class="text-white">Contact Us <i class="fad fa-arrow-right-long"></i></a> 1616 </div> 1617 </div> 1618 </div> 1619</div> </div></footer> 1620 1621
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